intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with relevant regulators in utterly cooperative way
Exchange Act to regulators of auditors, or regulators of underlying goods or variables of derivatives contracts. The Securities
ก.ล.ต. ร่วมกับองค์กรกำกับดูแลการสอบบัญชีของมาเลเซีย สิงคโปร์ และอินโดนีเซีย จัดประชุม ASEAN Audit Regulators Group (AARG) Meeting โดยมีผู้สอบบัญชีจากสำนักงานสอบบัญชีชั้นนำของโลกร่วมหารือเกี่ยวกับกฎ
or https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8301 ASEAN Capital Markets Regulators Reiterate Strong Path towards Sustainable Capital Markets and Reaffirm Direction to Promote Sustainability
are the challenges from the ISSB sustainable finance standards that regulators and the private sectors must prepare for? What to consider to best transition to sustainable finance? 4. Investor
such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members
market regulators and relevant organizations from more than 140 member countries around the world. _______________________
, registrars, depositories and regulators – to examine bond information more conveniently and rapidly while benefiting from less redundancy and shorter timeframe for book closing process. ThaiBMA’s
scope of operation of foreign representative branches of Thai business operators and apply the rules of the regulators of such foreign representative branches instead, (3) allow more flexibility on
funds which includes plain vanilla funds and passive ETF. Both regulators are expecting to conclude the discussion and sign the MoU within the second quarter this year before cross-border offerings